RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
T•••• D••• S•••••••
- N•••••••• P•••••••• L•• independent RIA currentsince Jul 10, 2025 · Roseville, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDApr 26, 2005 to Jul 18, 2025 · Roseville, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 16, 2004 to Apr 26, 2005 · Sacramento, Ca
- A••••••••• F•••••••• S•••••••• L•• to N•••••••• P•••••••• L••left Jul 18, 2025, registered Jul 10, 2025 (-8 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- M•• I•••••••• S•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Apr 26, 2005, registered Apr 26, 2005 (0 days) · Other
- T•••• D••• S••••••• left A••••••••• F•••••••• S•••••••• L•• for N•••••••• P•••••••• L•• (registered 2025-07-10)Jul 18, 2025 · Advisor changed firm · fact
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address